Samuel Girgiss of New York, New York, a stockbroker formerly registered with Worden Capital Management, is identified in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon accusations of excessive trading, unsuitable trading, and failure to supervise by Worden Capital Management. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-00347 (March 16, 2022).
Girgiss has been identified in two additional customer initiated investment related disputes concerning allegations of his activities. FINRA Public Disclosure shows that a customer initiated investment related FINRA securities arbitration claim concerning Girgiss’ activities was resolved for $40,000.00 in damages founded on accusations of churning and unsuitable recommendations relating to over-the-counter equities through Girgiss at Legend Securities. The claim also contains allegations of breach of fiduciary duty, breach of contract, and fraud.
On February 22, 2022, another customer initiated investment related FINRA securities arbitration claim involving Girgiss’ conduct was settled for $12,000.00 in damages supported by accusations of unsuitable advice and misrepresentation by Girgiss during the time that he was associated with Spartan Capital Securities. FINRA Arbitration No. 19-03740.
Girgiss was registered with Worden Capital Management between November 4, 2016, and September 7, 2017. Since August 15, 2017, he has been registered with Spartan Capital Securities.